Rick Latu

CRD 5867061 · Fidelity Brokerage Services LLC · Salt Lake City, UT

IA RegisteredBroker

Also appears in the source record as: Rickie James Kanavale Latu; Rickie Latu; Ricky James Kanavale Latu; Ricky K Latu; Ricky Kanavale Latu; Ricky Latu

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (47): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 15
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5867061 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (10)

From the source registration record · current first

Strategic Advisers LLCCurrent
Salt Lake City, UT · IA capacity

Mar 31, 2025 → present
Fidelity Brokerage Services LLCCurrent
Draper, UT · BD capacity

May 24, 2022 → present
Fidelity Brokerage Services LLCCurrent
Salt Lake City, UT · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Jun 9, 2022 → Mar 31, 2025
E*trade Capital Management, LLC
IA capacity

Apr 16, 2019 → Mar 9, 2022
E*trade Securities LLC
BD capacity

Apr 3, 2019 → Mar 9, 2022
Northwestern Mutual Investment Services,llc
IA capacity

Nov 29, 2018 → Feb 13, 2019
Northwestern Mutual Investment Services, LLC
BD capacity

Nov 12, 2018 → Feb 13, 2019
Strategic Advisers, Inc.
IA capacity

May 7, 2012 → Jan 23, 2017
Fidelity Brokerage Services LLC
BD capacity

Jan 28, 2011 → Jan 10, 2017

Source & corrections

Where this page comes from

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